Jeffrey A. Sacher
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Alan Sacher was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1997. Jeffrey had worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2021 - June 21, 2022
B. RILEY SECURITIES, INC.
July 18, 2017 - May 16, 2022
NATIONAL SECURITIES CORPORATION
October 10, 2016 - July 19, 2017
AEGIS CAPITAL CORP.
January 7, 2010 - October 13, 2016
BREAN CAPITAL, LLC
April 10, 2008 - January 9, 2009
NEEDHAM & COMPANY, LLC
March 12, 1997 - March 13, 2002
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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